Broker Check

Privacy Notice

We recognize our obligation to keep information about you secure and confidential. It is important for you to know that we do not sell customer information to anyone. We are proud of our privacy and confidentiality practices, and we want you to know how we protect information realtive to your account. Please take a moment to read the following information about our privacy policy regarding your non-public personal information:

We collect non-public personal information about you from the following sources:
1. Information you give us on applications or other forms;
2. Information about your transactions and account with us, our affiliates or others; &
3. Information we receive from customer reporting agencies, such as credit rating bureaus.

We do not disclose any non-public personal information  that we have about any client or any former customer to anyone, except as required by law.

We restrict access to your non-public personal information  to our clearing broker and to those of our employees who need to know the information in order to provide services to you. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your non-public personal information.

Please contact your representative at (401) 421-8900 or toll free at (800) 457-4293 if you have any questions. Thank you.